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CRD 310327
BRAINTREE, MA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| C•••••• C•••• E••••••••• | n/a | BRAINTREE, MA | 5 | 33 | 2 | no |
| R•••••• S••••• M••••• | n/a | BRAINTREE, MA | 5 | 32 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| B••••• G••••••• E••••• | FOUNDING PARTNER & CHIEF GROWTH OFFICER DIRECTOR OF PLANNING / CHIEF COMPLIANCE OFFICER | Na | yes | 10/2020 | Jul 24, 2026 | Jul 24, 2026 |
| M••• L•• | MANAGING MEMBER | E | yes | 08/2021 | Jul 24, 2026 | Jul 24, 2026 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Wakefield | Ma | United States | 4 | no |
| Newport | Ri | United States | 4 | no |
| PARK RIDGE | Nj | United States | 2 | no |
| Portsmouth | Nh | United States | 1 | no |
| n/a | n/a |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 1 | 3 | -2 | 10.7% | 1 | 0 | 0 | 3 | 5 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $4.3B | $3.2B | 34.9% | $1.5B | 41.0% | 28 | 31 | 5 | 4 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| N•• E••• W••••• | 2 | Dec 31, 2025 | Jan 6, 2026 | BRAINTREE, MA | Team lift out | RIA to ibd | 7.7% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| M•••••••• A••••••• | 2 | Jun 30, 2023 | Jun 26, 2023 | BOSTON, MA | Team lift out | RIA to RIA | 8.0% |
| U•• F•••••••• S••••••• I••• | 4 | May 25, 2021 | May 25, 2021 |
| no |
| J•••• C••••••••• L••••• | Chartered Financial Consultant | BRAINTREE, MA | 5 | 28 | 2 | yes |
| G•••••• E••••• B•••• | n/a | BRAINTREE, MA | 5 | 20 | 5 | no |
| J••• A••••• M••••••• | Certified Financial Planner | BRAINTREE, MA | 5 | 15 | 3 | yes |
| C••••• L••• N••••• | n/a | BRAINTREE, MA | 5 | 20 | 1 | no |
| J••••• A••••• C••••• | Certified Financial Planner | BRAINTREE, MA | 5 | 26 | 1 | yes |
| A•• D••••••• L••••••• | n/a | BRAINTREE, MA | 5 | 19 | 4 | yes |
| R•••• L•• G••••••• | Certified Financial Planner | BRAINTREE, MA | 5 | 16 | 1 | yes |
| S•••••• N••••• S•••• | Certified Financial Planner | BRAINTREE, MA | 5 | 19 | 1 | yes |
| E••• J•••• L••••• | Certified Financial Planner | Park Ridge, NJ | BRAINTREE, MA | 5 | 19 | 2 | yes |
| A•••• D•••• C••••••• | n/a | BRAINTREE, MA | Middletown, RI | 5 | 37 | 1 | yes |
| S•••••• E••• K••••••• | n/a | WARREN, VT | BRAINTREE, MA | 4 | 20 | n/a | no |
| J•••• R•••••• H••••• | n/a | BRAINTREE, MA | 4 | 14 | n/a | yes |
| A••• A•••••••• A•••• | Certified Financial Planner | Newport, RI | BRAINTREE, MA | 4 | 13 | 2 | yes |
| G••••• M••• Q•••••• | n/a | BRAINTREE, MA | NEWPORT, RI | 3 | 16 | 1 | yes |
| A••••• P••• K•••• | n/a | BRAINTREE, MA | 2 | 13 | 3 | no |
| A••• K•••••••• | Chartered Financial Analyst | BRAINTREE, MA | 2 | 13 | n/a | no |
| M•••••• S•• A••••• | n/a | Park Ridge, NJ | BRAINTREE, MA | 2 | 10 | n/a | yes |
| P••••••• R• N•••••••• | n/a | Westford, MA | BRAINTREE, MA | 2 | 23 | n/a | no |
| J•••••• D•••• R•••••• | n/a | BRAINTREE, MA | 2 | 11 | n/a | no |
| P•••• J•••• G••••• | n/a | Oak Bluffs, MA | BRAINTREE, MA | 2 | 28 | n/a | no |
| M•••••• S•••••• V•••• | Chartered Financial Analyst | BRAINTREE, MA | 1 | 11 | 2 | no |
| C••••••••• R••••• A••• | n/a | BRAINTREE, MA | Newport, RI | 0 | 13 | n/a | no |
| T••• V••••• | n/a | BRAINTREE, MA | 0 | 31 | n/a | no |
| M•••••••• J•••• A••••• |
| CHIEF TECHNOLOGY OFFICER & VICE PRESIDENT OF OPERATIONS |
| Na |
| yes |
| 07/2024 |
| Jul 24, 2026 |
| Jul 24, 2026 |
| M•••••• R••••••• S••••• | FOUNDING PARTNER & CHIEF EXECUTIVE OFFICER | Na | yes | 10/2020 | Jul 24, 2026 | Jul 24, 2026 |
| B••••• G••••••• E••••• | MANAGING MEMBER | C | yes | 06/2021 | Nov 2, 2020 | Jun 26, 2024 |
| E••••••••• C••••••• C•••• | MANAGING MEMBER | C | yes | 06/2021 | Nov 2, 2020 | Jun 26, 2024 |
| E••••••••• C••••••• C•••• | CO-FOUNDER | Na | yes | 10/2020 | Nov 2, 2020 | Jun 26, 2024 |
| L•••••• J••••• C••••••••• | PRESIDENT / CHIEF OPERATING OFFICER / DIRECTOR OF PLANNING / CHIEF COMPLIANCE OFFICER | Na | yes | 10/2020 | Nov 2, 2020 | Jun 26, 2024 |
| M•••••• G••••• | CHIEF INVESTMENT OFFICER | Na | yes | 06/2024 | Jun 26, 2024 | Jun 26, 2024 |
| M•••••• R••••••• S••••• | MANAGING MEMBER | C | yes | 06/2021 | Nov 2, 2020 | Jun 26, 2024 |
| 1 |
| no |
| $4.3B |
| $4.3B |
| 28 |
| 23 |
| 5 |
| n/a |
| n/a |
| 2024 | Mar 20, 2025 | $3.2B | $3.2B | 31 | 25 | 4 | n/a | n/a |
| 2023 | Feb 29, 2024 | $3.0B | $3.0B | 30 | 24 | 5 | n/a | n/a |
| 2022 | Mar 9, 2023 | $1.5B | $1.5B | 22 | 20 | 4 | n/a | n/a |
| 2021 | Feb 22, 2022 | $1.6B | $1.6B | 23 | 19 | 3 | n/a | n/a |
| 2020 | Mar 11, 2021 | $720M | $720M | 12 | 9 | 1 | n/a | n/a |
| BOSTON, MA |
| Team lift out |
| Wirehouse to RIA |
| 0.1% |
| N•••••• A••••••• | 8 | Dec 1, 2020 | Nov 18, 2020 | NEW ORLEANS, LA | Team lift out | RIA to new firm | 7.1% |
| N•••••• A••••••• | 2 | Dec 1, 2020 | Nov 18, 2020 | BRAINTREE, MA | Team lift out | RIA to new firm | 1.8% |